John Alex (CRD: 2020710) settled customer disputes at Morgan Stanley and UBS Financial Services between 2011 and 2025, according to BrokerCheck, which lists him as John L. Alex.
Financial industry Regulatory Authority (“FINRA”) reports that investors have filed disputes or lawsuits against securities broker Christopher Allan Swan (CRD#: 5810132, Irving, Texas). Notably, two investors brought disputes between 2019 and 2020 which are summarized below.
Evidently, a client of BB&T Investments brought a civil suit in April of 2020 about Christopher Swan. Mainly, the client alleged to be unaware of investment accounts in December 2019. Particularly, Swan established two 529 accounts and two custodial investment accounts. It seems that by doing this, Swan caused the client to experience $23,000 in damages. This matter is ongoing.
Evidently, a client of Merrill Lynch brought a dispute in May 2019. Namely, the client alleged that Christopher Swan failed to follow instructions in 2018 and 2019 regarding stock transactions. It seems that the client experienced losses on stocks because of Swan’s actions. Because of this, Merrill Lynch settled this matter through making a $16,571.62 payment to the client in July 2019.
Notably, Merrill Lynch disaffiliated with Christopher Swan in December 2018. The firm alleged that Swan failed to meet standards relating to the receipt of client securities. Evidently, Swan worked in Merrill Lynch’s Marble Falls, Texas office from 2016 to 2018.
FINRA BrokerCheck indicates that Christopher Swan denies all allegations of sales practice violations. Have you experienced losses because of Swan? If so, contact Soreide Law Group at (888) 760-6552 and speak with experienced lawyers about a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered millions of dollars for investors who have suffered losses due to the misconduct of financial advisors and securities brokers.
John Alex (CRD: 2020710) settled customer disputes at Morgan Stanley and UBS Financial Services between 2011 and 2025, according to BrokerCheck, which lists him as John L. Alex.
Sam Bhushan (CRD: 4884717) is named in several pending customer complaints and one settled dispute, according to his BrokerCheck report.
Sterling Louviere (CRD: 2021328), listed on BrokerCheck as Sterling Vaughn Louviere, is named in a pending customer claim over Reg D private placements, with Cabin Securities as the firm named.
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